Unclaimed
Daniel Sandoval is an investment advisor representative at RBC Capital Markets, LLC. Daniel has been in the financial services industry since September 18, 2014. Previously, Daniel worked for Raymond James & Associates, Inc. and Northwestern Mutual Investment Services, LLC. Daniel is registered with the state of California as an investment advisor representative and a securities agent. Daniel also holds the Series 6, 7, 63, 65, and SIE licenses. Daniel specializes in working with high-net-worth individuals, corporations or other businesses, pension and profit-sharing plans, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
11/21/2018 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
CA
06/29/2017 - 12/31/2017
RAYMOND JAMES & ASSOCIATES, INC. (Los Angeles CA)
FL
05/18/2015 - 01/23/2017
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
01/22/2014 - 04/13/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (TAMPA FL)
IA
Issued 05/04/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2015
Series 7 - General Securities Representative Examination
BC
Issued 01/22/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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